At a Glance
- Tasks: Review and oversee marketing materials for compliance with global regulations.
- Company: Join Ares, a leading firm committed to shared prosperity and inclusivity.
- Benefits: Competitive salary, career development, and a supportive work environment.
- Other info: Ongoing applications accepted; no set deadline.
- Why this job: Be a key player in ensuring compliance in a dynamic financial services landscape.
- Qualifications: 4+ years in financial services compliance and strong regulatory knowledge required.
The predicted salary is between 60000 - 80000 £ per year.
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.
Job Description Summary: The Ares Legal & Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Regulatory Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.
Ares is seeking a Senior Associate / Associate Vice-President to play a key role in the Compliance regulatory marketing review process in support of our institutional and wealth businesses. The Senior Associate / Associate Vice-President will actively participate in review and oversight of the business unit marketing materials as well as specific to investor requests. The successful candidate will possess a strong working knowledge of UK and European regulatory frameworks, including the UK FCA and Luxembourg CSSF requirements regarding marketing material, the ESMA Marketing Guidelines, as well as US regulatory requirements, including the Investment Advisers Act, the SEC Marketing Rule, FINRA marketing regulations and general familiarity with the Investment Company Act.
Primary Functions and Essential Responsibilities: The new Senior Associate/Associate Vice-President will play a key role in providing Compliance support of various Ares alternative investment strategies marketing materials and policies. Specific responsibilities will include:
- Provide primary compliance marketing review and oversight of marketing materials and business communications.
- Serve as primary liaison point between the Compliance team and the Investor Relations teams.
- Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC, ESMA, FINRA and other global regulations).
- Monitor all submissions of materials in timely fashion and ensure the quality and timing of reviews.
- Assist with developing, revising, and implementing policies and procedures regarding marketing review activities and regulatory developments.
- Escalate issues to the Vice President, Compliance as needed.
Education: Bachelor’s Degree required. Legal qualifications or other advanced degree considered a plus. FINRA Series 7, 63 considered an advantage.
Experience Required: Minimum of 4+ years of relevant financial services compliance experience with a focus on review of marketing materials for institutional, wealth and alternative products. Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices. Working knowledge of or familiarity with SEC, FINRA and other global regulatory reviews and interpretation of regulations. Solid understanding of the investment adviser industry, and U.S. and global securities laws, including the Investment Advisers Act.
General Requirements: Strong sense of ownership and accountability with a process orientation. High accuracy and extremely detail-oriented. Ability to multi-task and prioritize deadlines; results-oriented. Excellent communication skills and client-service orientation. Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution. Proficient in Microsoft Office Suite (Word, Excel, PowerPoint). Knowledge of Red Oak an advantage. Ability to manage challenging workflow in fast-paced, dynamic organization, managing multiple assignments in a deadline driven environment. Excellent organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
Senior Associate, Marketing & Distribution Compliance in London employer: Ares Operations
At Ares, we pride ourselves on being an exceptional employer, fostering a culture that values collaboration, responsibility, and entrepreneurial spirit. Our commitment to employee growth is evident through our inclusive work environment and tailored career development programmes, ensuring that every team member can thrive in their role while contributing to our mission of shared prosperity. Located in a dynamic industry, this position offers the unique advantage of working alongside diverse professionals who are dedicated to compliance excellence in a global context.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Associate, Marketing & Distribution Compliance in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ares Operations looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Associate, Marketing & Distribution Compliance in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ares Operations. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ares Operations
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ares Operations’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
